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Showing 1 - 20 results of 28 for search '"Financial services industry Law and legislation"', query time: 0.07s Refine Results
  1. 1
    Legal risk in the financial markets /

    Legal risk in the financial markets / by McCormick, Roger

    Published 2010
    Subjects: “…Financial services industry Law and legislation.…”
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  2. 2
    April 17, 2013, Oversight and Investigations Subcommittee Hearing Entitled "Examining the SEC's Failure To Implement the JOBS Act and Its Impact on Economic Growth"

    April 17, 2013, Oversight and Investigations Subcommittee Hearing Entitled "Examining the SEC's Failure To Implement the JOBS Act and Its Impact on Economic Growth"

    Published 2013
    Subjects:
    Full Text (via ProQuest): CIS 2013 H372-17
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  3. 3
    Financial services modernization hearings before the Subcommittee on Financial Institutions and Consumer Credit of the Committee on Banking and Financial Services, House of Representatives, One Hundred Fifth Congress, first session, February 11, 13, 25, 1997.

    Financial services modernization hearings before the Subcommittee on Financial Institutions and Consumer Credit of the Committee on Banking and Financial Services, House of Represe...

    Published 1997
    Subjects: “…Financial services industry Law and legislation United States.…”
    Online Access
    Government Document Electronic eBook
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  4. 4
    Financial services modernization hearings before the Subcommittee on Financial Institutions and Consumer Credit of the Committee on Banking and Financial Services, House of Representatives, One Hundred Fifth Congress, first session, February 11, 13, 25, 1997.

    Financial services modernization hearings before the Subcommittee on Financial Institutions and Consumer Credit of the Committee on Banking and Financial Services, House of Represe...

    Published 1997
    Subjects: “…Financial services industry Law and legislation United States.…”
    Full Text (via ProQuest)
    Government Document Electronic eBook
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  5. 5
    Capital Markets Law and Compliance : the Implications of MiFID /

    Capital Markets Law and Compliance : the Implications of MiFID / by Nelson, Paul

    Published 2008
    Subjects: “…Financial services industry Law and legislation Great Britain.…”
    Full Text (via Cambridge)
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  6. 6
    Revising the Volcker Rule : Section 203 and Section 204 of the Economic Growth, Regulatory Relief, and Consumer Protection Act, CRS Legal Sidebar.

    Revising the Volcker Rule : Section 203 and Section 204 of the Economic Growth, Regulatory Relief, and Consumer Protection Act, CRS Legal Sidebar.

    Published 2019
    Subjects:
    Full Text (via ProQuest)
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  7. 7
    Studies in international financial, economic, and technology law.

    Studies in international financial, economic, and technology law.

    Published 2005
    Subjects: “…Financial services industry Law and legislation Periodicals.…”
    Serial
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  8. 8
    Financial market liberalization : the NAFTA framework /

    Financial market liberalization : the NAFTA framework / by Wethington, Olin Lewis, 1948-

    Published 1994
    Subjects: “…Financial services industry Law and legislation North America.…”
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  9. 9
    The Financial Services Competitiveness Act of 1995 joint hearings before the Subcommittee on Telecommunications and Finance and the Subcommittee on Commerce, Trade, and Hazardous Materials of the Committee on Commerce, House of Representatives, One Hundred Fourth Congress, first session, on H.R. 1062, June 6 and 8, 1995.

    The Financial Services Competitiveness Act of 1995 joint hearings before the Subcommittee on Telecommunications and Finance and the Subcommittee on Commerce, Trade, and Hazardous M...

    Published 1995
    Subjects: “…Financial services industry Law and legislation United States.…”
    Full Text (via ProQuest)
    Government Document Electronic eBook
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  10. 10
    Capital markets law and compliance : the implications of MiFID /

    Capital markets law and compliance : the implications of MiFID / by Nelson, Paul

    Published 2008
    Subjects: “…Financial services industry Law and legislation Great Britain. http://id.…”
    Book
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  11. 11
    Financial services modernization : analysis of the Gramm-Leach-Bliley Act of 1999.

    Financial services modernization : analysis of the Gramm-Leach-Bliley Act of 1999.

    Published 2000
    Subjects:
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  12. 12
    Legal and conduct risk in the financial markets /

    Legal and conduct risk in the financial markets / by McCormick, Roger, Stears, Chris

    Published 2018
    Subjects: “…Financial services industry Law and legislation.…”
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  13. 13
    Financial services litigation

    Financial services litigation

    Subjects: “…Financial services industry Law and legislation United States. http://id.…”
    Law Students, Faculty, and Staff (via Westlaw)
    Electronic Website
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  14. 14
    National Association of Securities Dealers (NASD) manual

    National Association of Securities Dealers (NASD) manual

    Published 2000
    Subjects:
    Law Students, Faculty, and Staff (via Westlaw)
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  15. 15
    Financial services modernization : hearings before the Subcommittee on Financial Institutions and Consumer Credit of the Committee on Banking and Financial Services, House of Representatives, One Hundred Fifth Congress, first session, February 11, 13, 25, 1997.

    Financial services modernization : hearings before the Subcommittee on Financial Institutions and Consumer Credit of the Committee on Banking and Financial Services, House of Repre...

    Published 1997
    Subjects: “…Financial services industry Law and legislation United States. http://id.…”
    Search for the full-text version of this title in HathiTrust
    Government Document Book
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  16. 16
    Dodd-Frank Wall Street Reform and Consumer Protection Act : law, explanation and analysis /

    Dodd-Frank Wall Street Reform and Consumer Protection Act : law, explanation and analysis /

    Published 2010
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  17. 17
    The Financial Services Competitiveness Act of 1995 : joint hearings before the Subcommittee on Telecommunications and Finance and the Subcommittee on Commerce, Trade, and Hazardous Materials of the Committee on Commerce, House of Representatives, One Hundred Fourth Congress, first session, on H.R. 1062, June 6 and 8, 1995.

    The Financial Services Competitiveness Act of 1995 : joint hearings before the Subcommittee on Telecommunications and Finance and the Subcommittee on Commerce, Trade, and Hazardous...

    Published 1995
    Subjects: “…Financial services industry Law and legislation United States. http://id.…”
    Search for the full-text version of this title in HathiTrust
    Government Document Book
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  18. 18
    Collateral and guaranties

    Collateral and guaranties

    Subjects:
    Law Students, Faculty, and Staff (via Westlaw)
    Electronic Website
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  19. 19
    Financial services modernization : Gramm-Leach-Bliley Act of 1999, law and explanation /

    Financial services modernization : Gramm-Leach-Bliley Act of 1999, law and explanation /

    Published 1999
    Subjects:
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  20. 20
    FINRA rules

    FINRA rules

    Published 2012
    Subjects:
    Law Students, Faculty, and Staff (via Lexis+)
    Electronic Website
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